Purpose of the NASW Code of Ethics - University of Northern Iowa

NASW Code of Ethics

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2021 Highlights - On February 19, 2021, and November 6, 2020, the NASW Delegate Assembly

approved the following revisions to the NASW Code of Ethics.

The NASW Code of Ethics is a set of standards that guide the professional conduct of social workers. The

2021 update includes language that addresses the importance of professional self-care. Moreover, revisions to

Cultural Competence standard provide more explicit guidance to social workers. All social workers should

review the new text and affirm their commitment to abide by the Code of Ethics.

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The first Section, "Preamble," summarizes the social work profession's mission and core values.

The second section, "Purpose of the NASW Code of Ethics," provides an overview of the Code's main

functions and a brief guide for dealing with ethical issues or dilemmas in social work practice.

The third section, "Ethical Principles," presents broad ethical principles, based on social work's core values,

that inform social work practice.

The final section, "Ethical Standards," includes specific ethical standards to guide social workers' conduct

and to provide a basis for adjudication.

Purpose of the NASW Code of Ethics

Professional ethics are at the core of social work. The profession has an obligation to articulate its basic values,

ethical principles, and ethical standards. The NASW Code of Ethics sets forth these values, principles, and

standards to guide social workers¡¯ conduct. The Code is relevant to all social workers and social work

students, regardless of their professional functions, the settings in which they work, or the populations they

serve.

The NASW Code of Ethics serves six purposes:

1. The Code identifies core values on which social work¡¯s mission is based.

2. The Code summarizes broad ethical principles that reflect the profession¡¯s core values and establishes a set

of specific ethical standards that should be used to guide social work practice.

3. The Code is designed to help social workers identify relevant considerations when professional obligations

conflict or ethical uncertainties arise.

4. The Code provides ethical standards to which the general public can hold the social work profession

accountable.

5. The Code socializes practitioners new to the field to social work¡¯s mission, values, ethical principles, and

ethical standards, and encourages all social workers to engage in self-care, ongoing education, and other

activities to ensure their commitment to those same core features of the profession.

6. The Code articulates standards that the social work profession itself can use to assess whether social workers

have engaged in unethical conduct. NASW has formal procedures to adjudicate ethics complaints filed against

its members. In subscribing to this Code, social workers are required to cooperate in its implementation,

participate in NASW adjudication proceedings, and abide by any NASW disciplinary rulings or sanctions

based on it.

The Code offers a set of values, principles, and standards to guide decision making and conduct when ethical

issues arise. It does not provide a set of rules that prescribe how social workers should act in all situations.

Specific applications of the Code must take into account the context in which it is being considered and the

possibility of conflicts among the Code¡¯s values, principles, and standards. Ethical responsibilities flow from

all human relationships, from the personal and familial to the social and professional.

Furthermore, the NASW Code of Ethics does not specify which values, principles, and standards are most

important and ought to outweigh others in instances when they conflict. Reasonable differences of opinion can

and do exist among social workers with respect to the ways in which values, ethical principles, and ethical

standards should be rank ordered when they conflict. Ethical decision making in a given situation must apply

the informed judgment of the individual social worker and should also consider how the issues would be

judged in a peer review process where the ethical standards of the profession would be applied.

Ethical decision making is a process. In situations when conflicting obligations arise, social workers may be

faced with complex ethical dilemmas that have no simple answers. Social workers should take into

consideration all the values, principles, and standards in this Code that are relevant to any situation in which

ethical judgment is warranted. Social workers¡¯ decisions and actions should be consistent with the spirit as

well as the letter of this Code.

In addition to this Code, there are many other sources of information about ethical thinking that may be useful.

Social workers should consider ethical theory and principles generally, social work theory and research, laws,

regulations, agency policies, and other relevant codes of ethics, recognizing that among codes of ethics social

workers should consider the NASW Code of Ethics as their primary source. Social workers also should be

aware of the impact on ethical decision making of their clients¡¯ and their own personal values and cultural and

religious beliefs and practices. They should be aware of any conflicts between personal and professional values

and deal with them responsibly. For additional guidance social workers should consult the relevant literature

on professional ethics and ethical decision making and seek appropriate consultation when faced with ethical

dilemmas. This may involve consultation with an agency-based or social work organization¡¯s ethics

committee, a regulatory body, knowledgeable colleagues, supervisors, or legal counsel.

Instances may arise when social workers¡¯ ethical obligations conflict with agency policies or relevant laws or

regulations. When such conflicts occur, social workers must make a responsible effort to resolve the conflict in

a manner that is consistent with the values, principles, and standards expressed in this Code. If a reasonable

resolution of the conflict does not appear possible, social workers should seek proper consultation before

making a decision.

The NASW Code of Ethics is to be used by NASW and by individuals, agencies, organizations, and bodies

(such as licensing and regulatory boards, professional liability insurance providers, courts of law, agency

boards of directors, government agencies, and other professional groups) that choose to adopt it or use it as a

frame of reference. Violation of standards in this Code does not automatically imply legal liability or violation

of the law. Such determination can only be made in the context of legal and judicial proceedings. Alleged

violations of the Code would be subject to a peer review process. Such processes are generally separate from

legal or administrative procedures and insulated from legal review or proceedings to allow the profession to

counsel and discipline its own members.

A code of ethics cannot guarantee ethical behavior. Moreover, a code of ethics cannot resolve all ethical issues

or disputes or capture the richness and complexity involved in striving to make responsible choices within a

moral community. Rather, a code of ethics sets forth values, ethical principles, and ethical standards to which

professionals aspire and by which their actions can be judged. Social workers' ethical behavior should result

from their personal commitment to engage in ethical practice. The NASW Code of Ethics reflects the

commitment of all social workers to uphold the profession¡¯s values and to act ethically. Principles and

standards must be applied by individuals of good character who discern moral questions and, in good faith,

seek to make reliable ethical judgments.

With growth in the use of communication technology in various aspects of social work practice, social workers

need to be aware of the unique challenges that may arise in relation to the maintenance of confidentiality,

informed consent, professional boundaries, professional competence, record keeping, and other ethical

considerations. In general, all ethical standards in this Code of Ethics are applicable to interactions,

relationships, or communications, whether they occur in person or with the use of technology. For the purposes

of this Code, ¡°technology-assisted social work services¡± include any social work services that involve the use

of computers, mobile or landline telephones, tablets, video technology, or other electronic or digital

technologies; this includes the use of various electronic or digital platforms, such as the Internet, online social

media, chat rooms, text messaging, e-mail and emerging digital applications. Technology-assisted social work

services encompass all aspects of social work practice, including psychotherapy; individual, family, or group

counseling; community organization; administration; advocacy; mediation; education; supervision; research;

evaluation; and other social work services. Social workers should keep apprised of emerging technological

developments that may be used in social work practice and how various ethical standards apply to them.

Professional self-care is paramount for competent and ethical social work practice. Professional demands,

challenging workplace climates, and exposure to trauma warrant that social workers maintain personal and

professional health, safety, and integrity. Social work organizations, agencies, and educational institutions are

encouraged to promote organizational policies, practices, and materials to support social workers¡¯ self-care.

Ethical Principles

The following broad ethical principles are based on social work¡¯s core values of service, social justice, dignity

and worth of the person, importance of human relationships, integrity, and competence. These principles set

forth ideals to which all social workers should aspire.

Value: Service

Ethical Principle: Social workers¡¯ primary goal is to help people in need and to address social problems

Social workers elevate service to others above self-interest. Social workers draw on their knowledge, values,

and skills to help people in need and to address social problems. Social workers are encouraged to volunteer

some portion of their professional skills with no expectation of significant financial return (pro bono service).

Value: Social Justice

Ethical Principle: Social workers challenge social injustice. Social workers pursue social change, particularly

with and on behalf of vulnerable and oppressed individuals and groups of people. Social workers¡¯ social

change efforts are focused primarily on issues of poverty, unemployment, discrimination, and other forms of

social injustice. These activities seek to promote sensitivity to and knowledge about oppression and cultural

and ethnic diversity. Social workers strive to ensure access to needed information, services, and resources;

equality of opportunity; and meaningful participation in decision making for all people.

Value: Dignity and Worth of the Person

Ethical Principle: Social workers respect the inherent dignity and worth of the person.

Social workers treat each person in a caring and respectful fashion, mindful of individual differences and

cultural and ethnic diversity. Social workers promote clients¡¯ socially responsible self-determination. Social

workers seek to enhance clients¡¯ capacity and opportunity to change and to address their own needs. Social

workers are cognizant of their dual responsibility to clients and to the broader society. They seek to resolve

conflicts between clients¡¯ interests and the broader society¡¯s interests in a socially responsible manner

consistent with the values, ethical principles, and ethical standards of the profession.

Value: Importance of Human Relationships

Ethical Principle: Social workers recognize the central importance of human relationships.

Social workers understand that relationships between and among people are an important vehicle for change.

Social workers engage people as partners in the helping process. Social workers seek to strengthen

relationships among people in a purposeful effort to promote, restore, maintain, and enhance the well-being of

individuals, families, social groups, organizations, and communities.

Value: Integrity

Ethical Principle: Social workers behave in a trustworthy manner.

Social workers are continually aware of the profession¡¯s mission, values, ethical principles, and ethical

standards and practice in a manner consistent with them. Social workers should take measures to care for

themselves professionally and personally. Social workers act honestly and responsibly and promote ethical

practices on the part of the organizations with which they are affiliated.

Value: Competence

Ethical Principle: Social workers practice within their areas of competence and develop and enhance their

professional expertise.

Social workers continually strive to increase their professional knowledge and skills and to apply them in

practice. Social workers should aspire to contribute to the knowledge base of the profession.

Ethical Standards

The following ethical standards are relevant to the professional activities of all social workers. These standards

concern (1) social workers' ethical responsibilities to clients, (2) social workers' ethical responsibilities to

colleagues, (3) social workers' ethical responsibilities in practice settings, (4) social workers' ethical

responsibilities as professionals, (5) social workers' ethical responsibilities to the social work profession, and

(6) social workers' ethical responsibilities to the broader society.

Some of the standards that follow are enforceable guidelines for professional conduct, and some are

aspirational. The extent to which each standard is enforceable is a matter of professional judgment to be

exercised by those responsible for reviewing alleged violations of ethical standards.

1. Social Workers' Ethical Responsibilities to Clients

1.01 Commitment to Clients

Social workers' primary responsibility is to promote the well-being of clients. In general, clients' interests are

primary. However, social workers' responsibility to the larger society or specific legal obligations may on

limited occasions supersede the loyalty owed clients, and clients should be so advised. (Examples include

when a social worker is required by law to report that a client has abused a child or has threatened to harm self

or others.)

1.02 Self-Determination

Social workers respect and promote the right of clients to self-determination and assist clients in their efforts to

identify and clarify their goals. Social workers may limit clients' right to self-determination when, in the social

workers' professional judgment, clients' actions or potential actions pose a serious, foreseeable, and imminent

risk to themselves or others.

1.03 Informed Consent

(a) Social workers should provide services to clients only in the context of a professional relationship based,

when appropriate, on valid informed consent. Social workers should use clear and understandable language to

inform clients of the purpose of the services, risks related to the services, limits to services because of the

requirements of a third-party payer, relevant costs, reasonable alternatives, clients' right to refuse or withdraw

consent, and the time frame covered by the consent. Social workers should provide clients with an opportunity

to ask questions.

(b) In instances when clients are not literate or have difficulty understanding the primary language used in the

practice setting, social workers should take steps to ensure clients' comprehension. This may include providing

clients with a detailed verbal explanation or arranging for a qualified interpreter or translator whenever

possible.

(c) In instances when clients lack the capacity to provide informed consent, social workers should protect

clients' interests by seeking permission from an appropriate third party, informing clients consistent with the

clients' level of understanding. In such instances social workers should seek to ensure that the third party acts

in a manner consistent with clients' wishes and interests. Social workers should take reasonable steps to

enhance such clients' ability to give informed consent.

(d) In instances when clients are receiving services involuntarily, social workers should provide information

about the nature and extent of services and about the extent of clients' right to refuse service.

(e) Social workers should discuss with clients the social workers¡¯ policies concerning the use of technology in

the provision of professional services.

(f) Social workers who use technology to provide social work services should obtain informed consent from

the individuals using these services during the initial screening or interview and prior to initiating services.

Social workers should assess clients¡¯ capacity to provide informed consent and, when using technology to

communicate, verify the identity and location of clients.

(g) Social workers who use technology to provide social work services should assess the clients¡¯ suitability and

capacity for electronic and remote services. Social workers should consider the clients¡¯ intellectual, emotional,

and physical ability to use technology to receive services and the clients¡¯ ability to understand the potential

benefits, risks, and limitations of such services. If clients do not wish to use services provided through

technology, social workers should help them identify alternate methods of service.

(h) Social workers should obtain clients' informed consent before making audio or video recordings of them or

permitting observation of services to clients by a third party.

(i) Social workers should obtain client consent before conducting an electronic search on the client. Exceptions

may arise when the search is for purposes of protecting the client or other people from serious, foreseeable,

and imminent harm, or for other compelling professional reasons.

1.04 Competence

(a) Social workers should provide services and represent themselves as competent only within the boundaries

of their education, training, license, certification, consultation received, supervised experience, or other

relevant professional experience.

(b) Social workers should provide services in substantive areas or use intervention techniques or approaches

that are new to them only after engaging in appropriate study, training, consultation, and supervision from

people who are competent in those interventions or techniques.

(c) When generally recognized standards do not exist with respect to an emerging area of practice, social

workers should exercise careful judgment and take responsible steps (including appropriate education,

research, training, consultation, and supervision) to ensure the competence of their work and to protect clients

from harm.

(d) Social workers who use technology in the provision of social work services should ensure that they have

the necessary knowledge and skills to provide such services in a competent manner. This includes an

understanding of the special communication challenges when using technology and the ability to implement

strategies to address these challenges.

(e) Social workers who use technology in providing social work services should comply with the laws

governing technology and social work practice in the jurisdiction in which they are regulated and located and,

as applicable, in the jurisdiction in which the client is located.

1.05 Cultural Competence

(a) Social workers should demonstrate understanding of culture and its function in human behavior and

society, recognizing the strengths that exist in all cultures.

(b) Social workers should demonstrate knowledge that guides practice with clients of various cultures and be

able to demonstrate skills in the provision of culturally informed services that empower marginalized

individuals and groups. Social workers must take action against oppression, racism, discrimination, and

inequities, and acknowledge personal privilege.

(c) Social workers should demonstrate awareness and cultural humility by engaging in critical self-reflection

(understanding their own bias and engaging in self-correction); recognizing clients as experts of their own

culture; committing to life-long learning; and holding institutions accountable for advancing cultural humility.

(d) Social workers should obtain education about and demonstrate understanding of the nature of social

diversity and oppression with respect to race, ethnicity, national origin, color, sex, sexual orientation, gender

identity or expression, age, marital status, political belief, religion, immigration status, and mental or physical

ability.

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